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Trade Conduct and Finance Control Analyst

Employer
myGwork
Location
UK
Salary
Competitive
Closing date
7 Jul 2022

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Sector
Accountancy
Contract Type
Permanent
Hours
Full Time
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Some careers have more impact than others.

If you're looking for a career where you can make a real impression, join HSBC and discover how valued you'll be.

HSBC Global Banking and Markets is an emerging markets-led, financing-focused business that provides investment and financial solutions. Through our international network, we connect emerging and mature markets, covering key growth areas. We partner with our corporate, government and institutional clients to help them achieve consistent, long-term performance. Our products and services include advisory, financing, prime services, research and analysis, securities services, trading and sales and transaction banking.

We Trade Conduct and Finance Control Analyst are currently seeking an ambitious individual to join our team as a, working together with colleagues to define, manage and achieve divisional business targets.

Role Purpose

Trade Conduct and Finance Controls is a sub-team of Data & Regulatory Reporting within Markets & Security Services Operations, with a focus on delivering all cross-asset, cross-entity controls to mitigate the risk of unauthorized trading, market abuse and manipulation, financial fraud and regulatory compliance. We are a team of 180 members across 6 sites globally primarily servicing the Front Office, Controls Office, Reg Compliance and Finance. The vision being to deliver a best client experience, as one team, focused on innovation, risk and excellence, and driving forward best practice.

The role is a to support the Trade Conduct Controls, Volcker Collection & Benchmark Monitoring team globally with the daily running of controls, supporting the continued review and identification of optimization through the Change BOW, as well as supporting the governance and establishing relationships with key stakeholders across the Front Office, Markets Controls team, Change and Reference data teams within Data Ops, Central Controls and CDO.

There is a requirement to support the Global Lead for Trade Conduct Controls, Volcker Reporting and Benchmark Monitoring and represent the team within the trading Hub. This is the only London based analyst role focused on servicing the Front Office on assuring no misconduct and mitigating the risk of Unauthorised Trading, Market Abuse, Regulatory Compliance and Financial Reporting and Fraud Risk. The role is expected to focus on stakeholder management and building strong relationships with the Front Office as well as other stakeholder groups, and working with them on a continuous basis to build out the operating model and understand the issues within the front-to-back process and how to improve the behavioural issues highlighted through the controls. The role is focused on delivery of Controls, whereas the BAU processing of these controls sits within GSC, but there is a strong requirement to work closely with the wider team to ensure successful ongoing support and delivery of these controls.

In this role, you will:
  • Help create strong control environment where unauthorized trading and conduct issues are identified quickly
  • Support the strategic migration of controls in the Trade Conduct Control Programme as well as support new demand to be included in the Change BOW
  • Work closely with the Product Owners on the delivery of our Change BOW
  • Manage and develop robust testing environment to evidence complete and accurate controls
  • Assist in supporting all governance of controls and Volcker reporting across the teams and with stakeholders
  • Provide control metrics to stakeholders and be able to respond and act on any potential issues
  • Influence front office and Operations practices to ensure correct behaviour to reduce the number of false exceptions and issues identified through controls
  • Support the wider team on timely investigation and resolution of exceptions generated and build strong relationships to ensure smooth remediation

Some careers have more impact than others.

If you're looking for a career where you can make a real impression, join HSBC and discover how valued you'll be.

HSBC Global Banking and Markets is an emerging markets-led, financing-focused business that provides investment and financial solutions. Through our international network, we connect emerging and mature markets, covering key growth areas. We partner with our corporate, government and institutional clients to help them achieve consistent, long-term performance. Our products and services include advisory, financing, prime services, research and analysis, securities services, trading and sales and transaction banking.

We Trade Conduct and Finance Control Analyst are currently seeking an ambitious individual to join our team as a, working together with colleagues to define, manage and achieve divisional business targets.

Role Purpose

Trade Conduct and Finance Controls is a sub-team of Data & Regulatory Reporting within Markets & Security Services Operations, with a focus on delivering all cross-asset, cross-entity controls to mitigate the risk of unauthorized trading, market abuse and manipulation, financial fraud and regulatory compliance. We are a team of 180 members across 6 sites globally primarily servicing the Front Office, Controls Office, Reg Compliance and Finance. The vision being to deliver a best client experience, as one team, focused on innovation, risk and excellence, and driving forward best practice.

The role is a to support the Trade Conduct Controls, Volcker Collection & Benchmark Monitoring team globally with the daily running of controls, supporting the continued review and identification of optimization through the Change BOW, as well as supporting the governance and establishing relationships with key stakeholders across the Front Office, Markets Controls team, Change and Reference data teams within Data Ops, Central Controls and CDO.

There is a requirement to support the Global Lead for Trade Conduct Controls, Volcker Reporting and Benchmark Monitoring and represent the team within the trading Hub. This is the only London based analyst role focused on servicing the Front Office on assuring no misconduct and mitigating the risk of Unauthorised Trading, Market Abuse, Regulatory Compliance and Financial Reporting and Fraud Risk. The role is expected to focus on stakeholder management and building strong relationships with the Front Office as well as other stakeholder groups, and working with them on a continuous basis to build out the operating model and understand the issues within the front-to-back process and how to improve the behavioural issues highlighted through the controls. The role is focused on delivery of Controls, whereas the BAU processing of these controls sits within GSC, but there is a strong requirement to work closely with the wider team to ensure successful ongoing support and delivery of these controls.

In this role, you will:
  • Help create strong control environment where unauthorized trading and conduct issues are identified quickly
  • Support the strategic migration of controls in the Trade Conduct Control Programme as well as support new demand to be included in the Change BOW
  • Work closely with the Product Owners on the delivery of our Change BOW
  • Manage and develop robust testing environment to evidence complete and accurate controls
  • Assist in supporting all governance of controls and Volcker reporting across the teams and with stakeholders
  • Provide control metrics to stakeholders and be able to respond and act on any potential issues
  • Influence front office and Operations practices to ensure correct behaviour to reduce the number of false exceptions and issues identified through controls
  • Support the wider team on timely investigation and resolution of exceptions generated and build strong relationships to ensure smooth remediation

To be successful in the role, you should meet the following requirements:
  • Experience in dealing with a wide range of senior stakeholders, across multiple sites with varying cultures and expectations
  • Experience in working with a global team
  • Demonstrate good analytical skills and have a solid, logical and structured approach to resolving problems.
  • The ability to make things happen and drive change is vital
  • Strong control mind-set is essential with the ability to interrogate and analyse breaks
  • A good, clear understanding of process flows, front to back, and products.
  • Excellent communication and presentation skills
  • Demonstrate an ability to work on their own and without supervision, able to take the initiative and take responsibility but also show a good understanding of working with a team.

You'll achieve more when you join HSBC.

https://mycareer.hsbc.com/external

HSBC is committed to building a culture where all employees are valued, respected and opinions count. We take pride in providing a workplace that fosters continuous professional development, flexible working and opportunities to grow within an inclusive and diverse environment. Personal data held by the Bank relating to employment applications will be used in accordance with our Privacy Statement, which is available on our website.

Issued by The Hongkong and Shanghai Banking Corporation Limited.

As a business operating in markets all around the world, we believe diversity brings benefits for our customers, our business and our people. This is why HSBC is committed to being an inclusive employer and encourages applications from all suitably qualified applicants irrespective of ethnicity, religion, age, physical or mental disability/long term health condition, marital status, sexual orientation, gender identity, gender expression, genetic information (including characteristics and testing), military and veteran status, and any other characteristic protected by local law in the jurisdictions in which we operate. Within the work place you will have access to various employee resource groups which aim to promote and achieve a healthy work / life balance and support our diversity ambitions. HSBC has in place processes in order to avoid nepotism, which means to avoid creating circumstances in which the appearance or possibility of conflicts of interest may exist within the hiring process.

To be successful in the role, you should meet the following requirements:
  • Experience in dealing with a wide range of senior stakeholders, across multiple sites with varying cultures and expectations
  • Experience in working with a global team
  • Demonstrate good analytical skills and have a solid, logical and structured approach to resolving problems.
  • The ability to make things happen and drive change is vital
  • Strong control mind-set is essential with the ability to interrogate and analyse breaks
  • A good, clear understanding of process flows, front to back, and products.
  • Excellent communication and presentation skills
  • Demonstrate an ability to work on their own and without supervision, able to take the initiative and take responsibility but also show a good understanding of working with a team.

You'll achieve more when you join HSBC.

https://mycareer.hsbc.com/external

HSBC is committed to building a culture where all employees are valued, respected and opinions count. We take pride in providing a workplace that fosters continuous professional development, flexible working and opportunities to grow within an inclusive and diverse environment. Personal data held by the Bank relating to employment applications will be used in accordance with our Privacy Statement, which is available on our website.

Issued by The Hongkong and Shanghai Banking Corporation Limited.

As a business operating in markets all around the world, we believe diversity brings benefits for our customers, our business and our people. This is why HSBC is committed to being an inclusive employer and encourages applications from all suitably qualified applicants irrespective of ethnicity, religion, age, physical or mental disability/long term health condition, marital status, sexual orientation, gender identity, gender expression, genetic information (including characteristics and testing), military and veteran status, and any other characteristic protected by local law in the jurisdictions in which we operate. Within the work place you will have access to various employee resource groups which aim to promote and achieve a healthy work / life balance and support our diversity ambitions. HSBC has in place processes in order to avoid nepotism, which means to avoid creating circumstances in which the appearance or possibility of conflicts of interest may exist within the hiring process.

This employer is a corporate member of myGwork - LGBTQ+ professionals, the business community for LGBTQ+ professionals, students, inclusive employers & anyone who believes in workplace equality.
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